Tagged: securities and exchange commission

December 8, 2025 @ 8:02 pm By Michael Wong  |  

The Philippine Securities and Exchange Commission has sought public comment on proposed rules that would set a regulatory framework for sukuk, as Manila tries to broaden funding options and deepen its capital markets through Islamic finance. In a draft memorandum circular issued on Nov. 26,… Read More

December 8, 2025 @ 3:33 pm By JD Alois  |  

The Securities and Exchange Commission’s Crypto Task Force has provided an update for a roundtable gathering scheduled for December 15th. The gathering will address financial surveillance and privacy. SEC Commissioner Hester Peirce, leader of the Crypto Task Force, said new technologies provide an opportunity to… Read More

December 2, 2025 @ 11:05 am By JD Alois  |  

Before the United States was a nation, it was an investment. Securities and Exchange Commission Chairman Paul Atkins delivered a speech at the New York Stock Exchange today outlining his thoughts on how to reinvigorate US markets. As everyone knows, public markets have been in… Read More

November 1, 2025 @ 5:21 am By Michael Wong  |  

The US Securities and Exchange Commission (SEC) moved to streamline the shift to central clearing of Treasuries, launching a one-stop page with updates, staff statements and guidance for brokers and buy-side firms. The initiative builds on rule changes adopted in December 2023 and subsequent extensions… Read More

October 15, 2025 @ 10:35 am By JD Alois  |  

Two weeks into the shutdown of the federal government, and there is no end in sight as the Democrat minority digs its heels in, demanding an additional $1.5 trillion added to certain government programs. While the Republican majority wants to pass a continuing resolution (CR) to… Read More

October 2, 2025 @ 2:01 pm By JD Alois  |  

Last month, the Securities and Exchange Commission (SEC), Office of the Inspector General (OIG), issued a memo stating there were “avoidable errors” that led to the loss of former SEC Chairman Gary Gensler’s texts. On January 17, 2024, the SEC Office of Information Technology (OIT) reported… Read More

September 7, 2025 @ 11:16 pm By Michael Wong  |  

The U.S. Securities and Exchange Commission and Commodity Futures Trading Commission will hold a joint public roundtable on Sept. 29 to address regulatory clarity for cryptocurrency markets, focusing on decentralized finance protocols, perpetual contracts and other digital asset innovations. The four-hour session at SEC headquarters… Read More

August 15, 2025 @ 5:29 pm By JD Alois  |  

DealMaker, a leading platform supporting online capital formation, recently met with the Securities and Exchange Commission (SEC) to discuss crypto. DealMaker is a tech-infused broker-dealer that enables issuers to raise funds under Reg D, Reg CF, and Reg A. DealMaker has facilitated several billion in… Read More

April 16, 2025 @ 7:56 am By Omar Faridi  |  

The U.S. Securities and Exchange Commission (SEC) has approved the Green Impact Exchange (GIX), marking a key milestone for sustainable investing. Set to launch in early 2026, GIX will reportedly be the first U.S. national securities exchange dedicated to the $35 trillion global green economy…. Read More

April 13, 2025 @ 1:39 pm By Michael Wong  |  

The US Securities and Exchange Commission’s (SEC) Crypto Task Force convened its second roundtable in Washington, D.C., spotlighting the challenges and opportunities surrounding crypto trading in the United States. Acting Chairman Mark T. Uyeda, addressing an audience of regulators, industry representatives, and legal experts, drew… Read More

April 1, 2025 @ 3:09 pm By JD Alois  |  

During the Gensler administration, the Securities and Exchange Commission (SEC) took a hard turn towards social issues (ESG) and away from its mandate of efficient markets, capital formation, and investor protection. In fact, little or nothing was done to support facilitating capital for both private… Read More

March 20, 2025 @ 2:17 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has issued a statement on Proof of Work (PoW), a characteristic of some digital assets – most prominently Bitcoin. Proof of Work is a way to validate and mint new crypto. At one time, Ethereum was PoW, but it… Read More

March 15, 2025 @ 4:14 pm By Robin Sosnow and Jason Siev  |  

The U.S. Securities and Exchange Commission (SEC) just made a game-changing move for capital raisers utilizing Rule 506(c) under Regulation D. On March 12, 2025; the SEC issued two new C&DIs as well as a pivotal no-action letter (the “Latham No-Action Letter”) which together significantly… Read More

March 11, 2025 @ 10:31 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has updated rules for enforcement actions. According to a document posted on the SEC’s website, the Director of Enforcement will no longer be able to issue formal orders of investigation and must seek Commission approval before pursuing the investigation…. Read More

March 3, 2025 @ 9:40 am By JD Alois  |  

The Securities and Exchange Commission (SEC) will hold a roundtable on Artificial Intelligence (AI). The event will be held at SEC headquarters in Washington, DC, and is open to the public for either in-person or virtual attendance. AI is currently in use at most large,… Read More

February 28, 2025 @ 10:38 am By JD Alois  |  

Meme Coins, or crypto assets with no apparent value beyond the fact they exist, have been deemed not to be securities by the Securities and Exchange Commission (SEC). According to a Staff statement, the Division of Corporation Finance (CorpFin): “transactions in the types of meme… Read More

February 20, 2025 @ 9:44 am By JD Alois  |  

DOGE or the Department of Government Efficiency, has been running through the various federal bureaucracies looking for fat to cut and employees to eliminate. While there has been much hand-wringing from opposition Democrats and individuals impacted, the majority of the US is supporting the move… Read More

February 9, 2025 @ 11:50 am By JD Alois  |  

After years of actively undermining digital asset innovation, the Securities and Exchange Commission (SEC) will take steps to recognize and enable new technology that will improve the securities ecosystem and potentially help create new asset classes traded around the world. During the Biden Administration,  the… Read More

January 27, 2025 @ 1:19 pm By JD Alois  |  

ICAN, or Investors Choice Advocates Network, is a non-profit that advocates on behalf of underserved investors and those individuals deemed to be unfairly targeted by the Securities and Exchange Commission. ICAN supports investors’ rights, which sometimes suffer from too much government and too little freedom…. Read More

January 21, 2025 @ 9:27 am By JD Alois  |  

Commissioner Mark Uyeda has been designated the Acting Chair of the Securities and Exchange Commission (SEC) following the inauguration of President Donald Trump and the exit of the Biden Administration. Former SEC Chairman Gary Gensler officially exited his leadership role at the Commission on the… Read More